Charles Schwab
Overview
Join to apply for the
Senior Auditor, Anti-Money Laundering
role at
Charles Schwab . The Internal Audit Department (IAD) of The Charles Schwab Corporation provides independent and objective assessments to verify that significant risks are identified and reported, and to evaluate whether risks are adequately controlled. IAD challenges Executive Management to improve governance processes, risk management, and internal controls. The Bank Enterprise team seeks a Senior Auditor (Senior Specialist) responsible for Anti-Money Laundering (AML) and Fraud audits. The Bank Internal Audit team conducts audits of Bank, Trust, AML, Fraud, and Conduct to assess governance, risk management, internal controls, and regulatory compliance. Internal Audit covers the CSC Banking and Trust Services (BTS) organization, which includes three banks and two personal trust companies. The team also covers AML program reviews under BSA/OFAC requirements and FFIEC guidelines, plus Fraud and Conduct audits in line with regulatory expectations. Reporting to the Director (PL) of the Bank/AML Enterprise team, the Internal Audit Senior Specialist provides independent assurance to improve operations and compliance by evaluating risk management, controls, and governance around AML and Fraud processes. This role collaborates with an external co-sourcing provider and does not have direct reports. What You’ll Do Audit Execution: Plan and execute internal audit AML assignments in accordance with IIA standards and IAD policies. Include scheduling, scoping discussions, drafting deliverables, testing design/execution, and review of work papers. Track team operations, issues, and budgets. Issues Identification: Draft audit observations for review with Internal Audit leadership and key partners. Issue Management and Validation: Validate audit issue action plans implemented by the business. Risk Assessment: Participate in annual risk assessment with partners, scoring and documenting risk ratings. Coaching: Provide support and mentoring to audit team members; assist with onboarding and ongoing support for new members. Administration/Training: Complete required firm-wide and departmental training and administrative tasks. Other Initiatives/Special Projects: Assist with special projects related to operational improvements or internal team needs. What You Have 3–5+ years of financial services audit experience with expanding responsibilities. AML/Fraud experience in internal audit or regulatory environments is a plus. Experience performing internal audits in a complex operational/regulatory environment. Ability to work in a project team and collaborate with external co-sourcing providers and internal lines of business. Certifications: CAMS, CFE, CPA, CIA, or CISA preferred; other relevant certifications considered. Understanding of risks and internal controls; ability to evaluate control adequacy and efficiency. Stays current on industry/regulatory issues and best practices; shares knowledge with team and auditees. Strong analytical, verbal, and written communication skills; able to articulate and document findings clearly. Bachelor’s degree required. What’s in it for you At Schwab, you’re empowered to shape your future. We support growth through meaningful work, continuous learning, and a culture of trust and collaboration. Our Hybrid Work and Flexibility approach balances flexibility with in-person collaboration. We offer a competitive benefits package that supports today and the future, including: 401(k) with company match and Employee Stock Purchase Plan Paid time off for vacation, volunteering, and 28-day sabbatical after every 5 years of service for eligible roles Paid parental leave and family-building benefits Tuition reimbursement Health, dental, and vision insurance Seniority level Mid-Senior level Employment type Full-time Job function Accounting/Auditing and Finance
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Join to apply for the
Senior Auditor, Anti-Money Laundering
role at
Charles Schwab . The Internal Audit Department (IAD) of The Charles Schwab Corporation provides independent and objective assessments to verify that significant risks are identified and reported, and to evaluate whether risks are adequately controlled. IAD challenges Executive Management to improve governance processes, risk management, and internal controls. The Bank Enterprise team seeks a Senior Auditor (Senior Specialist) responsible for Anti-Money Laundering (AML) and Fraud audits. The Bank Internal Audit team conducts audits of Bank, Trust, AML, Fraud, and Conduct to assess governance, risk management, internal controls, and regulatory compliance. Internal Audit covers the CSC Banking and Trust Services (BTS) organization, which includes three banks and two personal trust companies. The team also covers AML program reviews under BSA/OFAC requirements and FFIEC guidelines, plus Fraud and Conduct audits in line with regulatory expectations. Reporting to the Director (PL) of the Bank/AML Enterprise team, the Internal Audit Senior Specialist provides independent assurance to improve operations and compliance by evaluating risk management, controls, and governance around AML and Fraud processes. This role collaborates with an external co-sourcing provider and does not have direct reports. What You’ll Do Audit Execution: Plan and execute internal audit AML assignments in accordance with IIA standards and IAD policies. Include scheduling, scoping discussions, drafting deliverables, testing design/execution, and review of work papers. Track team operations, issues, and budgets. Issues Identification: Draft audit observations for review with Internal Audit leadership and key partners. Issue Management and Validation: Validate audit issue action plans implemented by the business. Risk Assessment: Participate in annual risk assessment with partners, scoring and documenting risk ratings. Coaching: Provide support and mentoring to audit team members; assist with onboarding and ongoing support for new members. Administration/Training: Complete required firm-wide and departmental training and administrative tasks. Other Initiatives/Special Projects: Assist with special projects related to operational improvements or internal team needs. What You Have 3–5+ years of financial services audit experience with expanding responsibilities. AML/Fraud experience in internal audit or regulatory environments is a plus. Experience performing internal audits in a complex operational/regulatory environment. Ability to work in a project team and collaborate with external co-sourcing providers and internal lines of business. Certifications: CAMS, CFE, CPA, CIA, or CISA preferred; other relevant certifications considered. Understanding of risks and internal controls; ability to evaluate control adequacy and efficiency. Stays current on industry/regulatory issues and best practices; shares knowledge with team and auditees. Strong analytical, verbal, and written communication skills; able to articulate and document findings clearly. Bachelor’s degree required. What’s in it for you At Schwab, you’re empowered to shape your future. We support growth through meaningful work, continuous learning, and a culture of trust and collaboration. Our Hybrid Work and Flexibility approach balances flexibility with in-person collaboration. We offer a competitive benefits package that supports today and the future, including: 401(k) with company match and Employee Stock Purchase Plan Paid time off for vacation, volunteering, and 28-day sabbatical after every 5 years of service for eligible roles Paid parental leave and family-building benefits Tuition reimbursement Health, dental, and vision insurance Seniority level Mid-Senior level Employment type Full-time Job function Accounting/Auditing and Finance
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